Broker-Dealers

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Raymond James Appoints Women Advisors Leader

by FA Staff

Michelle Lynch becomes director of Raymond James Network for Women.

State Regulators Attack Brokers For Confusing Fee Disclosures

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The professional association representing state securities regulators attacked the brokerage industry Wednesday for confusing fee disclosures.

RJFS President: DOL's New Fiduciary Rule Better Than 2010 Proposal

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RJFS President Scott Curtis gave grudging support for the Department of Labor’s revamped fiduciary proposal.

Cetera Kicks Off Advisor Education Program

by FA Staff

Its new Wealth Management University is attended by 200 of Cetera's top advisors.

Morgan Stanley Wealth Profit Rises But New Client Money Stumbles

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Profit in Morgan Stanley's wealth management division rose 24.6 percent in the first quarter, but new money from clients fell by about one-third, the company said on Monday.

Finra Starts Senior Help Line

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Finra has started a new help line for seniors 65 and over that can be useful for investors of all ages.

Ex-JPMorgan Chase Broker Charged For Taking And Losing Millions

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A former JPMorgan Chase & Co. broker faces federal charges that he stole $20 million from customers, only to lose at least $13.5 million in bets on Tesla Motors Inc., Apple Inc. and other companies.

Wealth Manager HighTower Hires Eight-Member Team From Morgan Stanley

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Chicago-based independent wealth management firm HighTower Advisors said it has hired an eight-member team which managed about $750 million.

Brokers Use Decoys, Spy Tactics To Go Independent

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Secret contracts, covert real-estate deals, scurrying around after nightfall to avoid detection: This is how far big-bank brokers are prepared to go when they plan to go independent.

How Safe Are Your Clients’ Assets?

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Cybercrime is a growing threat in the advisor industry.

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